Collaborates internally with OCC lines of business and externally with the Consumer Financial Protection Bureau, the other federal banking agencies, and other responsible governmental agencies regarding the development, implementation, and consistent application of consumer-related regulations and policy guidance. It also oversees or… Adjudication attorneys advise the Commission on complex factual and legal issues, study the evidentiary records on appeal, and research the relevant substantive and procedural requirements. Jonathan Gould The office provides a variety of legal services to the Commission and staff, and is divided into four groups: Appellate, General Litigation, Adjudication, and Legal Policy. Serves as the OCC's counsel in a variety of forums: Represents the OCC in the administrative phase of personnel actions (e.g., Equal Employment Opportunity (EEO), Merit Systems Protection Board); Administers the OCC's regulations regarding confidential supervisory information; Advises the Comptroller regarding administrative law judge decisions appealed to the Comptroller, and drafts the Comptroller's decision document; Participates in the preparation of the legal memorandums necessary for problem bank resolutions. Legal Counsel, General Counsel's Office Ontario Securities Commission. In addition, the group represents the Commission as amicus curiae in private litigation raising important issues under the federal securities laws. Provide legal support for administrative actions to enforce compliance with applicable laws and regulations and safe and sound practices by national banks, federal savings associations, and institution-affiliated parties, as necessary. Nov 2013 – Sep 2016 2 years 11 months. Serves as the OCC's counsel on a wide range of consumer-related issues: Advises the OCC's supervisory, compliance, licensing, enforcement, community affairs, and customer complaint resolution units regarding consumer protection, fair lending, and community development and Community Reinvestment Act matters, as they apply to national banks and federal savings associations; Advises other groups within the Law Department and lines of business regarding fair access to bank services, bank community development powers and community reinvestment activities; and. FSRA launched a 90-day consultation for the Financial Professionals Title Protection Rule and Guidance today. Glassdoor will not work properly unless browser cookie support is enabled. Provide legal advice on the application of consumer laws and regulations to ensure that consumers have fair access to financial services and are treated fairly. Provide legal analyses and interpretations, consistent with law and regulation, that support a safe and sound, vibrant, and diverse system of national banks and federal savings associations; and that encourage responsible innovation in the banking industry to meet the needs of consumers, businesses and communities. Chief Counsel's Office. Communications & Public Affairs– provides strategic advice and services to ensure the timely and effective communication of OSC priorities, policies and actions to both external and internal stakeholders. Art galleries! Serves as the OCC's counsel on matters related to investigations, enforcement actions, and administrative litigation: Conducts formal and informal investigations; Advises on whether OCC-supervised institutions and institution affiliated parties (IAPs) have engaged in unsafe or unsound banking practices, violations of laws and regulations, or breaches of fiduciary duty; Handles matters involving Bank Secrecy Act/Anti-Money Laundering law violations, consumer law violations, and fraud related actions, among other areas; Advises the OCC's supervisory, compliance, and licensing units on the legal requirements for enforcement actions and on enforcement-related policies and procedures; Litigates all OCC enforcement actions before the Office of Financial Institution Adjudication (OFIA), including civil money penalties, prohibitions and removals, and cease-and-desist orders; Refers criminal acts involving OCC-supervised institutions or IAPs to the U.S. Department of Justice; and. Senior Legal Counsel, General Counsel's Office at Ontario Securities Commission Toronto, Ontario, Canada 500+ connections. The Group analyzes all enforcement and regulatory recommendations to the Commission from the operating divisions and offices. In this role, Licensing receives, analyzes, and decides filings to establish, change the structure of, or change the activities performed by national banks, federal savings associations, and federal branches and agencies. The office prepares all of the Commission's appellate and amicus briefs; litigates all non-enforcement matters on behalf of the agency; assists in preparing Commission opinions in adjudications set for a hearing before the Commission and on appeal from administrative law judges, stock exchanges, the NASD, and the Public Company Accounting Oversight Board; and provides legal advice and counseling concerning recommendations for Commission action from the various divisions and offices, including rulemaking recommendations and recommendations to bring enforcement actions, as well as other questions concerning the federal securities laws, administrative laws, and other laws that affect independent agencies. The OGC Legal Policy Group provides legal and policy analysis and advice to the Commission, individual Commissioners, and the Commission's divisions and office concerning the federal securities laws, administrative laws, and other applicable laws. The Investor Office also has a policy function, plays a key role in the oversight of the Ombudsman for Banking Services and Investments (OBSI), and provides leadership at the OSC in the area of behavioural insights and improving the investor experience. Provides legal advice on issues relating to cybersecurity as it affects national banks and federal savings associations. See if they're hiring! General Counsel’s Office– an in-house legal, policy, strategy and risk-management resource to the OSC. Share This Page: Jonathan Gould Senior Deputy Comptroller and Chief Counsel . Our mandate is to provide protection to investors from unfair, improper and fraudulent practices, and foster fair and efficient capital markets and confidence in capital markets The OGC Adjudication Group advises and assists the Commission in issuing published opinions in contested appeals. Provide legal advice on international banking issues and prepare cross-border agreements to support collaboration with international regulators on the identification of systemic risk and the efficient supervision of financial systems. Senior Legal Counsel, General Counsel's Office Ontario Securities Commission. Filings, other submissions, or questions should be addressed to the appropriate OCC licensing office. Copyright © 2008–2020, Glassdoor, Inc. "Glassdoor" and logo are registered trademarks of Glassdoor, Inc. 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Many cases involve disciplinary actions against brokerage firms and other securities professionals. See if they're hiring! Senior Deputy Comptroller and Chief Counsel. Check out the latest Ontario Securities Commission Jobs. Learn how to enable cookies. University of Toronto. Coordinates with the Securities and Exchange Commission, the Commodity Futures Trading Commission, the federal banking agencies, and other regulatory agencies regarding rulemaking, legal interpretations, etc. Upload a CV to easily apply to jobs from anywhere. 5 Flickr 6LinkedIn 7 Pinterest 8 Email Updates, Office of Compliance Inspections and Examinations. The Commission's opinions guide the securities industry on questions of law. Global & Domestic Affairs – advises and supports the Commission in connection with its relationship with governments and regulators, both in Canada and internationally. Ontario Securities Commission. Toronto, ON; Looking beyond Ontario Securities Commission? The office provides a variety of legal services to the Commission and staff, and is divided into four groups: Appellate, General Litigation, Adjudication, and Legal Policy. Provides guidance to the Chief Counsel in administering the OCC ethics program. Serves as the OCC's counsel on a broad range of activities and corporate structures of national banks, federal savings associations and federal branches and agencies: Advises licensing on matters including charters, mergers and acquisitions, changes in control, operating and financial subsidiaries, and non-controlling investments in other entities; Provides counsel relating to the ongoing activities of national banks and federal savings associations that could present operational risks affecting their safety and soundness, including electronic banking, third-party service providers, lending limits, affiliate transactions, and real estate and leasing activities; Provides legal support with respect to problem bank and resolution matters in both domestic and cross-border contexts, including receiverships, conservatorships, and voluntary liquidations; and. Looking beyond Ontario Securities Commission? The Investor Office sets the strategic direction and leads the OSC’s efforts in investor engagement, education, outreach and research. The Group also provides legal advice to management on a broad range of issues, including matters related to: the SEC’s budget, real estate leasing, intellectual property disputes, personnel and EEO proceedings, and labor relations and collective bargaining.

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